Attachments 6-10

  • Attachment 6 Demonstration of Good Faith Efforts or Good Faith Effort Plan - Forms 1 & 2
  • Attachment 7 DBE Monitoring and Enforcement Mechanisms
  • Attachment 8 DBE Certification Application Form
  • Attachment 9 State’s UCP Agreement
  • Attachment 10 Small Business Element Program

Past History Participation

Other data used to determine the adjustment to the base figure was the median of historical DBE accomplishments ( we recommend you use a minimum of three to five years of data, if all the participation was attained via race conscious measures, there’s no need to show the split but you must specify this in your narrative ) as follows:


Total Grant $ Amount

DBE Goals


Type of work







FY 11




FY 12




FY 13




FY 14




FY 15




Arranging this historical data from low to high, (2%, 3%, 4%, 7%, 8%) the median is 4%.

The proposed Overall DBE Goals are as follows:

- Fiscal Year #1 3.5( 3 .5 + 4)/2) = 3.75
- Fiscal Year #2
- Fiscal Year #3

Our proposed overall three year goal will be reflected as ( option 1- an average of the three years, option 2 three year Median, or Option 3 - weighted percentage)


Yearly Goal = 9.0%
Year 2 Goal = 8.0%
Year 3 Goal = 6.0%

Average of the three years 9+8+6=23/3 = 7.7%
Median of the three years of participation = 8.0%
Weighted $965,832 / $12,234,598= 7.8%

To arrive at an overall goal, we added our Step 1 base figure with our Step 2 adjustment figure and then averaged the total arriving at an overall goal of _____. We feel this adjusted goal figure will accurately reflect DBE participation that can be achieved for the type of work being awarded during this three-year period.


There is no historical DBE data to reference to make an adjustment to the Step 1 base figure; therefore, the Airport Authority is adopting its Step 1 base figure as its overall goal for this three-year goal period.


There is no historical DBE data to reference to make an adjustment to the Step 1 base figure, however, the Airport Authority feels it can achieve a slighter higher DBE goal during the 3-year period because a dditional DBE firms that perform _____ work are to be certified in the l ocal market area. Therefore, the Airport Authority is increasing its Step 1 base figure by ___% for a total overall goal of _______________ for FY-2017, 2018 and 2019.

Also include if applicable:

Further, there are no applicable disparity studies for the local market area or recent legal case information available from the State of _______ Department of _________ office to show any evidence of barriers to entry or competitiveness of DBEs in ___________ counties .

Breakout of Estimated “Race and Gender Neutral” (RN) and “Race and Gender Conscious” (RC) Participation . 26.51(b) (1-9)

The recipient will meet the maximum feasible portion of its overall goal by using RN means of facilitating DBE participation. [Use all the applicable RN measures that the recipient will use to increase DBE participation:]


1. Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways that facilitates DBE, and other small businesses, participation;

2. Providing assistance in overcoming limitations such as inability to obtain bonding or financing;

3. Providing technical assistance and other services;

4. Carrying out information and communications programs on contracting procedures and specific contract opportunities;

5. Implementing a supportive services program to develop and improve immediate and long-term business management, record keeping, and financial and accounting capability for DBE’s and other small businesses;

6. Providing services to help DBE’s and other small businesses improve long-term development, increase opportunities to participate in a variety of kinds of work, handle increasingly significant projects, and achieve eventual self-sufficiency;

7. Establishing a program to assist new, start-up firms, particularly in fields in which DBE participation has historically been low;

8. Ensuring distribution of DBE directory, through print and electronic means, to the widest feasible universe of potential prime contractors;

9. Assist DBE’s and other small businesses, to develop their capability to utilize emerging technology and conduct business through electronic media; and

10. (Include other race neutral measures as appropriate)

The recipient estimates that in meeting its overall goal ___%, it will obtain __% from RN participation and __% through RC measures.

Show how you calculated each portion. Add a narrative of the basis of the estimated breakout of Race and Gender Neutral (RN) and Race and Gender Conscious (RC) DBE participation for example:

This breakout is based on: (You must include supporting information for your recommendation, these are examples you may consider using, if applicable)

- In FY-17, the Recipient’s accomplishments exceeded the goal by 3%, which is evidence of race-neutral participation, therefore, 3% of our 9.07% goal is being applied to race-neutral and the remaining 6.07% is applied to race-conscious participation.

- The Recipients expects to have 1 DBE prime contractor obtain through competitive bid procedures. This DBE is e xpected to accomplish at least 2% of the project work. Therefore, we are applying 2% of our 9.07% goal to race-neutral and 7 .07% to race-conscious participation.

- The Recipient holds quarterly meetings open to all small businesses that will result in at least 1% additional DBE participation in 2018; therefore, we are applying 1% of our 9.07 goal to race-neutral and the remaining 8.07% to race-conscious.

- The Recipient does not have a history of DBE participation or over-achievement of goals to reference and expects to obtain its DBE participation through the use of DBE contract goals or a conscious effort to obtain DBE participation. Therefore, we are applying the entire goal of 9.07 to race-conscious participation.

The [Recipient] will adjust the estimated breakout of RN and RC DBE participation as needed to reflect actual DBE participation (see Section 26.51(f)) and track and report RN and RC participation separately. For reporting purposes, RN DBE participation includes, but is not necessarily limited to, the following: DBE participation through a prime contract obtained through customary competitive procurement procedures; DBE participation through a subcontract on a prime contract that does not carry a DBE goal, DBE participation on a prime contract exceeding a contract goal and DBE participation through a subcontract from a prime contractor that did not consider a firm’s DBE status in making the award.


Consultation : Section 26.45(g)(1).

[In establishing the proposed goal, consult with minority, women’s and general contractor groups, community organizations who can share information on the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBE’s and the recipients efforts to establish a level playing field for the participation of DBE’s]

In establishing the overall goal, the [Recipient] provided for consultation and publication. This included consultation with minority, women’s and general contractor groups, community organizations, and other officials or organizations which could be expected to have information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and the [Recipients] efforts to establish a level playing field for the participation of DBEs. The consultation included a scheduled, direct, interactive exchange (e.g., a face-to-face meeting, video conference, teleconference) with as many interested stakeholders as possible focused on obtaining information relevant to the [Recipient’s] goal setting process, and it occurred before we were required to submit our goal methodology to the operating administration for review pursuant to paragraph (f) of this section. Notwithstanding paragraph (f)(4) of this section, we will not implement our proposed goal until we have complied with this requirement.

Suggested language to use:

The [Recipient] submits its overall DBE three-year goal to DOT on August 1 as required by the set schedule.

Before establishing the overall goal, the [Recipient] consulted with [Cook and Kelly County’s Chamber of Commerce, Cook and Kelly County’s Public Works Department, State XXX Contractors Association, IDOT, State of XXX Minority Business Development Office, Women Business Development Council, Airport Minority Business Council], without limiting consultation to these persons or groups, to obtain information concerning the availability of disadvantaged and non-disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and the [Recipient] efforts to establish a level playing field for the participation of DBEs

Following the consultation, we published a notice in the [Name of Newspaper] of the proposed overall goal, informing the public that the proposed goal and its rationale are available for inspection during normal business hours at the airport administration building for 30 days following the date of the notice, and informing the public that the [Recipient] and DOT will accept comments on the goals for 30 days from the date of the notice

The following comments were received: [discuss comments].


No comments have been received.

Sample Public Notice Language :


The [Recipient] hereby announces its fiscal years 20__ through ___ goal of ___% for Disadvantaged Business Enterprise (DBE) airport construction Contracts. The proposed goals and rationale is available for inspection between 8:00 a.m. and 5:00 p.m., Monday through Friday at [location’s name and address] for 30 days from the date of this publication.

Comments on the DBE goal will be accepted for 30 days from the date of this publication and can be sent to the following:

[DBELO, name, complete address, including e-mail address]


Federal Aviation Administration
Office of Civil Rights Staff
[ Enter your regional DBE Compliance Specialist Contact Information]

Contract Goals

The [Recipient] will use contract goals to meet any portion of the overall goal that the recipient does not project being able to meet using RN means. Contract goals are established so that, over the period to which the overall goal applies, they will cumulatively result in meeting any portion of the recipient’s overall goal that is not projected to be met through the use of RN means.

The [Recipient] will establish contract goals only on those DOT-assisted contracts that have subcontracting possibilities. It need not establish a contract goal on every such contract, and the size of the contract goals will be adapted to the circumstances of each such contract (e.g., type and location of work and availability of DBE’s to perform the particular type of work).

We will express our contract goals as a percentage of the [total amount of a DOT-assisted contract] or [the Federal share of a DOT-assisted contract]. [Note: Recipients can choose either approach]


Demonstration of Good Faith Efforts - Forms 1 & 2

[Forms 1 and 2 should be provided as part of the solicitation documents.]


The undersigned bidder/offeror has satisfied the requirements of the bid specification in the following manner (please check the appropriate space):

_____ The bidder/offeror is committed to a minimum of ____ % DBE utilization on this contract.

_____ The bidder/offeror (if unable to meet the DBE goal of ____%) is committed to a minimum of ____% DBE utilization on this contract and should submit documentation demonstrating good faith efforts.

Name of bidder/offeror’s firm: ______________________________________

State Registration No. ____________________

By ___________________________________ (Signature)

______________________ Title


Name of bidder/offeror’s firm: _______________________________

Address: ________________________________________________

City: _____________________________ State: _______ Zip: ______

Name of DBE firm: ________________________________________

Address: _________________________________________________

City: ________________________________State: _______ Zip: _____

Telephone: ___________________

Description of work to be performed by DBE firm:

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

The bidder/offeror is committed to utilizing the above-named DBE firm for the work described above. The estimated dollar value of this work is $ ___________.


The above-named DBE firm affirms that it will perform the portion of the contract for the estimated dollar value as stated above and that the firm is DBE certified to perform the specific trades.

By ______________________________ Date: _________________________


______________________________ (Title)

If the bidder/offeror does not receive award of the prime contract, any and all representations in this Letter of Intent and Affirmation shall be null and void.

Submit this page for each DBE subcontractor.


DBE Monitoring and Enforcement Mechanisms

The [Recipient] has available several remedies to enforce the DBE requirements contained in its contracts, including, but not limited to, the following:

1. Breach of contract action, pursuant to the terms of the contract;

2. Breach of contract action, pursuant to [insert State Code Section No.];

3. [List the other laws, statutes, regulations, etc. that are available to enforce the DBE requirements.]

In addition, the Federal government has available several enforcement mechanisms that it may apply to firms participating in the DBE problem, including, but not limited to, the following:

1. Suspension or debarment proceedings pursuant to 49 CFR Part 26

2. Enforcement action pursuant to 49 CFR Part 31

3. Prosecution pursuant to 18 USC 1001.


DBE Certification Application Form (New form October 2, 2014)

ATTACHMENT 9 State’s UCP Agreement

ATTACHMENT 10 Small Business Element

It is recommended that you include the following components and notes:

1. Objective/Strategies

As part of this program element you may include, but are not limited to, the following strategies:

(1) Establishing a race-neutral small business set-aside for prime contracts under a stated amount (e.g., $1 million).

(2) In multi-year design-build contracts or other large contracts (e.g., for “megaprojects”) requiring bidders on the prime contract to specify elements of the contract or specific subcontracts that are of a size that small businesses, including DBEs, can reasonably perform.

(3) On prime contracts not having DBE contract goals, requiring the prime contractor to provide subcontracting opportunities of a size that small businesses, including DBEs, can reasonably perform, rather than self-performing all the work involved.

(4) Identifying alternative acquisition strategies and structuring procurements to facilitate the ability of consortia or joint ventures consisting of small businesses, including DBEs, to compete for and perform prime contracts.

(5) To meet the portion of your overall goal you project to meet through race-neutral measures, ensuring that a reasonable number of prime contracts are of a size that small businesses, including DBEs, can reasonably perform.

2. Definition

- DBE firms should be identified in the Small Business element of the recipient’s DBE program as eligible for the program unless there is a DBE micro-Small Business Program element in place.

- Size standard should be consistent with 49 C FR 26.5 and must be no larger than the Small Business Administration’s size standards. DBE firms and small firms eligible for the program should be similarly sized to reduce competitive conflict between DBE and non-DBE firms.

- Personal Net Worth standards (optional) should be consistent with 49 CFR Part 26 thresholds.

3. Verification

- Should diligently attempt to minimize fraud and abuse in the SB element of its DBE program by verifying program eligibility of firms.

4. Monitoring/Record Keeping

- How will the information will be organized (for counting purposes) ? SB element should be reasonably monitored

5. Implementation Timeline

- Identify implementation schedule/timeline, within 6 or 9 months of FAA’s approval.

6. Assurance

- Include the following assurances:

1. assurance that the program is authorized under state law;

2. assurance that certified DBE s that meet the size criteria established under the program are presumptively eligible to participate in the program;

3. assurance that there are no geographic preferences or limitations imposed on any federally assisted procurement included in the program;

4. assurance that there are no limits on the number of contracts awarded to firms participating in the program but that every effort will be made to avoid creating barriers to the use of new, emerging, or untried businesses; and

5. assurance that aggressive steps will be taken to encourage those minority and women owned firms that are eligible for DBE certification to become certified.

6. assurance that the program is open to small businesses regardless of their location (i.e., that there is no local or other geographic preference).

Consulting Services We Provide

  • Review public works preconstruction contracts
  • Monitor DIR contractor/subcontractor certified payrolls
  • Audit labor classification for each worker employed
  • Review DIR pre-DAS 140/142 submissions
  • Review CAC training fund contributions form CAC-2
  • Review DIR Fringe Benefits Statement PW-26
  • Monitor DIR wage determinations
  • Audit fringe benefits allowances
  • Review DIR holiday payment requirements
  • Audit DIR travel & subsistence requirements
  • Caltrans Labor Compliance
  • County of Sacramento Labor Compliance
  • City of Los Angeles Labor Compliance
  • Los Angeles Unified School District Labor Compliance
  • Federal Davis-Bacon Project Monitoring
  • Federal DBE Implementation & Review
  • Federal FAA AIP Goal Setting
  • DIR & Davis-Bacon Training
  • DIR Civil Wage Penalty Review
  • Local-Hire Review (e.g., San Francisco)
  • Skilled and Trained Workforce

Give us a call to discuss your labor compliance requirements: 916-234-3958.

This email is intended for general information purposes only and should not be construed as legal advice
or legal opinions on any specific facts or circumstances.

© 2009-2022 GroupOne Company. All Rights Reserved.